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The Voice of Canada’s Investment Funds Industry

SRO Rules and Responses

IFIC strongly supports industry self-regulation. IFIC welcomed the creation of the New Self-Regulatory Organization of Canada (New SRO), which was formed in January 2023 through the amalgamation of the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada. IFIC will provide industry input to ongoing consultations related to the implementation of the New SRO as well as any rule changes it introduces in response to evolving marketplace and investor needs.



Documents

2020
IFIC Submission - MFDA Consultation on Account Transfers (September 29, 2020)

2019
IFIC Submission to MFDA (Mr. Woodard) CE Accreditation (September 20, 2019)

IFIC submission on the MFDA’s consultation on the accreditation process for its continuing education requirements.


IFIC Submission - MFDA (P. Ward) - MFDA Bulletin #0782-P – Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) (July 31, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - By-law No 1 - Subsection 24.A (Ombudservice) (June 26, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - Records, Examinations and Investigatory Powers (June 19, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - Election and term, governance and quorum (June 12, 2019)

2018
IFIC Comment Letter - MFDA - Proposed MFDA Rules 1.2 and 1.2.6 and Proposed MFDA Policy No. 9 (Continuing Education Requirements) (June 19, 2018)

2017
IFIC Submission – MFDA – Proposed Continuing Education Requirements (April 27, 2017)

IFIC Submission — IIROC — Proposed Guidance on Order Execution Only Services and Activities (February 3, 2017)

IFIC Submission – MFDA – Misleading Business Titles (Rule 1.2.5) (January 25, 2017)